SEC Operations

Last week the SEC's general counsel ordered the Enforcement Division to at least temporarily end its policy of routinely destroying records from old matters under ...

A heavily redacted report from the SEC's Inspector General David Kotz reveals an attorney in the agency's Fort Worth Regional Office improperly disclosed the name ...

The decision by the SEC's Division of Investment Management expressed in a new no-action letter to permit a U.S-based firm that manages more than $150 ...

The SEC's inspector general scrutinized 72 OCIE exam reports and found 44 contained deficiencies tied to non-compliance with agency exemptive orders or no-action letters. The ...

Hours after Sen. David Vitter's (R.-La.) vow last week to block the nominations of Daniel Gallagher and Luis Aguilar to be SEC commissioners, the agency ...

While he doesn't have the force of law, SEC Inspector General David Kotz could stir future action by enforcement staff should he unearth wanton disregard ...

In the first serious look at SEC employees rotating between the agency and industry, a public interest group found that 219 former agency employees filed ...

President Obama is asking the Senate to formally approve Washington, D.C. attorney and former SEC staffer Daniel Gallagher as a new SEC commissioner. The president ...

The SEC wouldn't look kindly upon advisory firms that retaliate against a whistleblower but evidence suggests the agency hasn't been so kind to its own ...

Drum roll, please. It won't be long before you'll know whether your state considers that it conducts exams of investment advisory firms. IA Watch has ...